Corporate Finance Regulation (Certificate) Exam

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CISI – Corporate Finance Regulation (Certificate) Quiz 03 is covered –
understand the purpose of HM Treasury sanctions list
understand the main offences set out in the Bribery Act 2010 and
the penalties for committing the offences set out in that Act
know the meaning of the terms “inside information” and “insider”
(Criminal Justice Act 1993 (CJA 1993) s.52 / 56 / 57 / 58)
understand the offences described in the CJA 1993 and the
securities to which it applies (CJA 1993 s.54, Schedule 2)
know the general and special defences available with regard to
insider dealing (CJA 1993 s. 53 and Schedule 1 paragraphs 1 – 5)
know the purpose, provisions, offences and defences of the Market
Abuse Regulation and the Financial Services Act 2012 Part 7 in
relation to misleading statements and impressions
know the statutory offences of the UK Market Abuse Regulation
know the penalties for market abuse (DEPP 6.5A, 6.5C, 6.5D & 6.7)
understand the enforcement regime for market abuse (DEPP 6.2.1,
6.2.2 & EG 2.1, 2.2 & 7)

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